Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
JOSEPH RAY OGDEN
JODY OGDEN
CRD#: 2203329
IA
Investment Adviser
B
Broker
STIFEL, NICOLAUS & COMPANY, INCORPORATEDCRD#: 793 2342 TECHNOLOGY DRIVE
SUITE 300
O'FALLON, MO 63368
Registration History
1995200020052010201520202025IASTIFEL, NICOLAUS & COMPANY, IN... (CRD# 793)2009 - Present (16 years)BSTIFEL, NICOLAUS & COMPANY, IN... (CRD# 793)2008 - Present (16 years)BWACHOVIA SECURITIES, LLC (CRD# 19616)2008 - 2008 (<1 year)BA. G. EDWARDS & SONS, INC. (CRD# 4)1994 - 2008 (14 years)
License(s)

State Registrations

B
Alabama 1/26/2021
B
Indiana 3/1/2023
B
Arizona 3/2/2012
B
Kansas 4/4/2014
B
Arkansas 1/18/2013
B
Missouri 9/30/2008
B
California 8/17/2011
IA
Missouri 2/26/2009
B
Colorado 11/11/2020
B
Nevada 10/26/2010
B
Florida 2/26/2015
B
Tennessee 6/5/2020
B
Georgia 9/30/2008
B
Texas 10/4/2016
B
Illinois 9/30/2008
IA
Texas 1/14/2020

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793)
2342 TECHNOLOGY DRIVE SUITE 300, O'FALLON, MO 63368
Registered with this firm since 2/26/2009
B
STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793)
2342 TECHNOLOGY DRIVE SUITE 300, O'FALLON, MO 63368
Registered with this firm since 9/30/2008
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 01/01/2008 - 10/02/2008 WACHOVIA SECURITIES, LLC (CRD#:19616) ST. PETERS, MO
B
 01/24/1994 - 01/03/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) ST. PETERS, MO
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.